BRIAN PATRICK KELLY is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 4433 38TH ST NW STE 2, CANTON, OH, 44718-2783.
BRIAN PATRICK KELLY has worked at LPL FINANCIAL LLC since January 11, 2008
Disclosure History
BRIAN PATRICK KELLY has 3 Disclosure Event(s).
Date: January 03, 2018 Category: Regulatory Initiated By: Ohio Division of Securities Allegations: (1) In January 2013, Kelly engaged in discretionary trading without written authorization from the client, who died prior to trades. (2) Kelly failed to maintain accurate disclosures in his U-4. Resolution: Consent SanctionDetails: Sanctions: Cease and Desist Broker Comment: (1) He engaged in discretionary trading without written authorization from the client, who died prior to the trades. (2) He failed to maintain accurate disclosures on his U-4.
Date: August 21, 2014 Category: Customer Dispute Allegations: DECEASED CUSTOMER'S ESTATE ALLEGES EXCESSIVE TRADING AND UNSUITABLE INVESTMENTS AND IMPROPER SOLICITATION. Settlement Amount: $27,500.00 14-02191
More Information
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